Back

Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Close advanced search

Found 1454 results. Displaying page 4 of 97

  1. 23 February 2023

    Notice of approved auditing courses 1 Nov 19

    Section 3(1)(e) of the prescribed minimum standards requires an individual who applies for a licence (under section 11 of the Act) after 30 June 2014 to have successfully completed a professional course in auditing approved by FMA. For the purposes of this section, FMA has approved the professional courses in auditing as documented in this PDF.
    Tags
    Auditors, Roles, Licensing & registration, Business
    Type
    PDF

  2. 20 February 2023

    CoFI ID consultation feedback form

    This consultation feedback form relates to the proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business
    Type
    Word document, Feedback form

  3. 20 February 2023

    CoFI id draft guidance

    This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business
    Type
    PDF

  4. 20 February 2023

    CoFI id guidance consultation paper

    This consultation paper seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business
    Type
    PDF

  5. 15 February 2023

    Validus Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  6. 15 February 2023

    Regulatory Impact Statement FAP Regulatory Returns

    This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.
    Tags
    Authorised body under a FAP, Financial Advice Provider, RIS, Roles, Business
    Type
    PDF

  7. 14 February 2023

    Guidance and expectations for keeping proper accounting records

    Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
    Tags
    Auditors, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Financial reporting, Guidance

  8. 14 February 2023

    Submissions report Accounting records guidance

    Submissions report following the consultation for Accounting records guidance.
    Tags
    Auditors, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Consultation

  9. 3 February 2023

    Submissions report financial advice reasonable grounds

    Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    PDF

  10. 2 February 2023

    Reasonable grounds for financial advice about financial products

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    PDF

  11. 31 January 2023

    Financial Markets Conduct NZX Listing Rules Approval of Rule Change Notice 2023

    This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments
    relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.
    Tags
    Roles, Business, Market operator
    Type
    PDF, Notice

  13. 30 January 2023

    Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).
    Tags
    Crowdfunding providers, Financial Adviser, Financial Institutions, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF

  14. 24 January 2023

    FMA Ease of Doing Business Survery 2022

    The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Surveys

  15. 24 January 2023

    Financial Markets Authority 2022 Annual Report

    This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.
    Tags
    Type
    PDF, Annual report, Corporate publications